Independent File Review, Strengthing Oversight & Compliance
OCG UK’s FRaaS delivers independent file reviews for compliance, risk management, and assurance, offering scalable insights aligned with UK standards.
Independent insight | Scalable delivery | Regulatory confidence
Built to serve UK licence holders across the advice lifecycle, from M&A due diligence to complaint response and routine QC, FRaaS delivers risk-based commentary that helps you make clear, defensible decisions in compliance with FCA guidelines.
M&A Transactions
Validate advice quality in acquisitions or exits. We support due diligence with detailed review of advice suitability, documentation integrity, and red-flag identification, ensuring valuation confidence and integration clarity.
Complaint Response & Regulatory Reviews
Strengthen internal investigation and compliance workflows with independent reviews that support timely, consistent, and defensible outcomes, aligned with regulatory expectations such as FCA complaint handling frameworks.
Ongoing Advisor Oversight
Maintain quality and compliance standards through periodic, sample-based reviews. Our flexible cycles, monthly, quarterly, or ad hoc, support licence requirements and drive proactive remediation across your network.
Why Choose OCG UK FRaaS?
With experience across over one million advice files and a team of expert reviewers, OCG delivers trusted, outcome-driven solutions. FRaaS distills leadership-level remediation and quality assurance experience into a scalable model that complements internal processes and enhances governance.
Find out how we can help…
Our Leaders
-
Danielle Radford
HEAD OF SERVICE DELIVERY
Danielle Radford serves as the Head of Service Delivery at Oceanic Consulting Group (OCG), where she leads large-scale operational teams to ensure excellence, innovation, and efficiency in client services.
-
Joseph Saheli
SENIOR MANAGER
Joseph leads complex advice reviews aligned to regulatory and licensee standards and supports the delivery of large-scale client engagements with a focus on quality and consistency.